Hedge Fund Database

UBS OCONNOR LLC

Adviser information for UBS OCONNOR LLC last updated from Form ADV on March 30th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 74
Investment Advisory/Research 58
Registered Broker-Dealer Representatives 11
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 16

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 39 $13.6B
Non-Discretionary 1 $121.7M
Total 40 $13.8B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 39 $13.6B
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies <5 $121.7M
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 68
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUMPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-57469
SEC ERA File Number 801-57469
SEC CIK Numbers 1132716
SEC CRD Numbers 108754
Legal Entity Identifier DKTEQ75O7X3COBPLT084

Principal Office

ONE NORTH WACKER DRIVE, FLOOR 31
CHICAGO
IL
United States
Monday - Friday, 9AM TO 5PM
Tel: 312-525-6000, Fax: None

Websites

www.ubs.com/global/en/assetmanagement/capabilities/hedge-funds/oconnor.html

Chief Compliance Officer

CHUCK MATHYS
CHIEF COMPLIANCE OFFICER
ONE NORTH WACKER DRIVE, FLOOR 31
CHICAGO
IL
United States
Tel: 312-525-4114
(Full email address available in API data)

Regulatory Contact

CONNOR BURKE
O'CONNOR HEAD OF LEGAL
ONE NORTH WACKER DRIVE, FLOOR 31
CHICAGO
IL
United States
Tel: 312-525-5743
(Full email address available in API data)

Industry Affiliates

CREDIT SUISSE ASSET MANAGEMENT LIMITED Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
CREDIT SUISSE ASSET MANAGEMENT, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
CREDIT SUISSE SECURITIES (USA) LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersFutures commission merchantSponsor, GP, manager of pooled investment vehicles
UBS ASSET MANAGEMENT (CANADA) CO Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
UBS ASSET MANAGEMENT (DEUTSCHLAND) GMBH Other investment adviser, including financial planners
UBS ASSET MANAGEMENT (SINGAPORE) LTD. Other investment adviser, including financial planners
UBS (LUXEMBOURG) S.A. Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institutionSponsor, GP, manager of pooled investment vehicles
UBS AG Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered security-based swap dealerBanking or thrift institutionSponsor, GP, manager of pooled investment vehicles
UBS ASSET MANAGEMENT (AMERICAS) INC. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
UBS ASSET MANAGEMENT (AUSTRALIA) LTD. Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
UBS ASSET MANAGEMENT (HONG KONG) LIMITED Other investment adviser, including financial planners
UBS ASSET MANAGEMENT (ITALIA) SGR S.P.A. Other investment adviser, including financial planners
UBS ASSET MANAGEMENT (JAPAN) LTD. Other investment adviser, including financial planners
UBS ASSET MANAGEMENT (SHANGHAI) LIMITED Other investment adviser, including financial planners
UBS ASSET MANAGEMENT (TAIWAN) LTD. Other investment adviser, including financial planners
UBS ASSET MANAGEMENT (UK) LIMITED Other investment adviser, including financial planners
UBS ASSET MANAGEMENT (US) INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
UBS ASSET MANAGEMENT SWITZERLAND AG Broker-dealer, municipal securities dealer, or gov securities broker or dealer
UBS ASSET MANAGEMENT TRUST COMPANY Trust company
UBS FARMLAND INVESTORS LLC Other investment adviser, including financial planners
UBS FINANCIAL SERVICES INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersFutures commission merchant
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
UBS FUND MANAGEMENT (IRELAND) LIMITED Other investment adviser, including financial planners
UBS FUND MANAGEMENT (LUXEMBOURG) S.A. Other investment adviser, including financial planners
UBS FUND SERVICES (LUXEMBOURG) S.A. Sponsor, GP, manager of pooled investment vehicles
UBS FUND SERVICES (USA) LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
UBS GROUP AG Banking or thrift institution
UBS HEDGE FUND SOLUTIONS Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
UBS REALTY INVESTORS LLC Other investment adviser, including financial plannersPension consultantSponsor, GP, manager of pooled investment vehicles
UBS SECURITIES LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealerCommodity pool operator or commodity trading advisorFutures commission merchant

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
CLOVER PCO III ORIGINATION AGGREGATOR LP Hedge Fund $83.6M $5.0M 264
CLOVER PCO III SECONDARY AGGREGATOR LP Hedge Fund $0.0M $5.0M 264
CLOVER PRIVATE CREDIT OPPORTUNITIES ORIGINATION (LEVERED) II LP Hedge Fund $533.0M $5.0M 201
CLOVER PRIVATE CREDIT OPPORTUNITIES ORIGINATION II LP Hedge Fund $535.4M $5.0M 1163
CLOVER PRIVATE CREDIT OPPORTUNITIES SECONDARY (LEVERED) II LP Hedge Fund $114.3M $5.0M 201
CLOVER PRIVATE CREDIT OPPORTUNITIES SECONDARY II LP Hedge Fund $173.7M $5.0M 1163
NINETEEN77 CAPITAL SOLUTIONS A LP Hedge Fund $201.4M $5.0M 203
NINETEEN77 CAPITAL SOLUTIONS LP Hedge Fund $72.1M $5.0M 203
NINETEEN77 GLOBAL MERGER ARBITRAGE MASTER LIMITED Hedge Fund $3,226.4M $5.0M 2709
NINETEEN77 GLOBAL MULTI-STRATEGY ALPHA MASTER LIMITED Hedge Fund $5,320.7M $5.0M 2260
NINETEEN77 RP I LLC Hedge Fund $121.9M $1.0M 2
NINETEEN77 WORKING CAPITAL FINANCE OPPORTUNISTIC FUND MASTER LIMITED Hedge Fund $142.3M $0.1M 11
NINTEEN77 CHINA LONG/SHORT ALPHA STRATEGIES MASTER LIMITED Hedge Fund $0.0M $5.0M 0

Control Persons

Name Type Entity Title Since Ownership
UBS GROUP AG Foreign Entity UBS AG PARENT COMPANY 11/2014 > 75%
UBS AG (ZURICH) Foreign Entity UBS AMERICAS HOLDING LLC MEMBER 04/2004 > 75%
UBS ASSET MANAGEMENT (AMERICAS) INC. Domestic Entity – SHAREHOLDER 12/2019 > 75%
UBS AMERICAS INC. Domestic Entity UBS ASSET MANAGEMENT (AMERICAS) INC. SHAREHOLDER 10/2003 > 75%
UBS AMERICAS HOLDING LLC Domestic Entity UBS AMERICAS INC. SHAREHOLDER 08/2015 > 75%
Mathys, Charles, Raymond Individual – CHIEF COMPLIANCE OFFICER 02/2020 < 5%
Gill, Barry, John Individual – UBS ASSET MANAGEMENT - HEAD OF INVESTMENTS 10/2019 < 5%
Burke, Connor, Barrett Individual – GENERAL COUNSEL 10/2021 < 5%
HILTABRAND, DAVID, BLAKE Individual – GLOBAL HEAD OF O'CONNOR 09/2022 < 5%
Ahkong, Bernard, Shinmen Individual – CIO, GLOBAL MULTI-STRATEGY PORTFOLIO 03/2024 < 5%

No. Employees, Historic

20010002019202020212022202320242025121 on 6/25/2019121 on 1/8/2020121 on 1/8/2020121 on 3/5/202050 on 3/27/202050 on 8/28/202050 on 2/24/202153 on 3/31/202153 on 6/30/202153 on 12/15/202153 on 12/15/202167 on 3/31/202267 on 5/26/202267 on 9/30/202267 on 1/4/202372 on 3/31/202372 on 5/1/202372 on 7/11/202372 on 8/11/202372 on 2/22/202474 on 3/30/2024

RAUM, Historic

30B15B020192020202120222023202420258341548546 on 6/25/20198341548546 on 1/8/20208341548546 on 1/8/20208341548546 on 3/5/20209408281397 on 3/27/20209408281397 on 8/28/20209408281397 on 2/24/202114290215571 on 3/31/202114290215571 on 6/30/202114290215571 on 12/15/202114290215571 on 12/15/202120520615594 on 3/31/202220520615594 on 5/26/202220520615594 on 9/30/202220520615594 on 1/4/202314941616740 on 3/31/202314941616740 on 5/1/202314941616740 on 7/11/202314941616740 on 8/11/202314941616740 on 2/22/202413768479965 on 3/30/2024

No. Clients, Historic

50250201920202021202220232024202525 on 6/25/201925 on 1/8/202025 on 1/8/202025 on 3/5/202021 on 3/27/202021 on 8/28/202021 on 2/24/202127 on 3/31/202127 on 6/30/202127 on 12/15/202127 on 12/15/202136 on 3/31/202236 on 5/26/202236 on 9/30/202236 on 1/4/202341 on 3/31/202341 on 5/1/202341 on 7/11/202341 on 8/11/202341 on 2/22/202439 on 3/30/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2023
Name Class Value $USD # Shares Private Fund
ALBERTSONS COMMO 94M 4M –